Book Details

Paperback: 208 pages
Publisher: Wiley
Language: English
ISBN-10:  0470601574
ISBN-13:  978-0470601570
Product Dimensions: 0.8 x 6.3 x 9.5 inches

Book Description

The first complete, expert guide to securities and investment fraud

Filled with expert guidance for detection and prevention of all kinds of securities fraud and investment misconduct, Securities Fraud helps you identify red flags of fraud and offers practical ways to detect and prevent it. Written by a Wall Street professional with three decades of experience spanning the most critical period of our financial markets This book challenges classic fraud theories, describing how to dismantle information silos that permit fraudsters to conceal their activities.

  • Begins with an overview of the evolution of securities regulation and the impact of securities fraud
  • Offers real cases and examples which illustrate recurring themes and red flags
  • Provides the first guide of its kind to offer a complete look at the various kinds of securities fraud and investment misconduct

Securities Fraud is the essential guide you need for a bird’s-eye view of fraud that may be taking place even now within your own organization and with your portfolio.

About the Authors

Louis L. Straney

Louis Straney received his first general and principal’s securities licenses in 1980. He spent the next 24 years in senior management positions for Wall Street firms. He had extensive experience in all aspects of supervising institutional and private client accounts. His responsibilities also included the professional development of financial consultants and branch managers. After his retirement in 2004, he spent the next three years conducting risk management research and curriculum development at a leading business school. He has been engaged by Plaintiff and Defendant counsel in approximately two hundred cases, requiring personal testimony and expert analysis.

Along with his consulting services, Louis is a published writer and contributor to journals such as the Public Investor Arbitration Bar Association Law Journal and the Chinese edition of CFO Magazine. He has been interviewed for articles in the New York Times and AARP Magazine. His text on securities fraud was chosen by the Association of Certified Fraud Examiners (ACFE) as the primary topical resource for training and certifying their examiners in this area. Among other things, Louis’ current research projects include; structured products, regulatory reform, fiduciary duty, Canadian securities regulation, pre-20th century Ponzi Schemes, and regional securities exchanges such as the Havana Stock Exchange. Louis is a lecturer for the U. S. Securities and Exchange Commission and Ontario Securities Commission’s examiner’s training programs. He is also active in collaborative efforts with several Canadian securities regulatory authorities and investigative agencies. Louis was formerly with the U. S. Department of Justice (FBI) in Washington DC and an U.S Army Infantry officer. Louis lives in northern New Mexico.

Cases and examples cited in this text will be regularly updated on the author’s web site, www.securitiesfraudresearch.org.

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